ROBERT SCOTT DAVIDSON is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 128 Meadowview Dr., BOONE, NC, 28607.
ROBERT SCOTT DAVIDSON has worked at AMERIPRISE FINANCIAL SERVICES, INC. since May 29, 1990
ROBERT SCOTT DAVIDSON has 2 Disclosure Event(s).
Date: February 24, 1992 Category: Regulatory Initiated By: FLORIDA DIVISION OF SECURITIES AND INVESTORPROTECT*See FAQ #1* Allegations: ON 2-24-92, THE STATE OF FLORIDA ISSUED ANADMINISTRATIVE COMPLAINT FOR IMPOSITION OF SANCTIONS AND NOTICEOF RIGHTS IN THE MATTER OF ROBERT SCOTT DAVIDSON, III AS ANASSOCIATED PERSON OF IDS FINANCIAL SERVICES, INC. Resolution: Order Sanction Details: THE FLORIDA DIVISION OF SECURITIES ALLEGESVARIOUS VIOLATIONS OF CHAPTER 517, FLORIDA STATUTES AND THERULES PROMULGATED THEREUNDER. ON DECEMBER 2, 1996, THEDEPARTMENT ISSUE A FINAL ORDER FINDING ROBERT SCOTT DAVIDSONVIOLATED FLORIDA LAW BY FAILING TO NOTIFY THE DEPARTMENT WITHINTHIRTY DAYS OF THE ADMINISTRATIVE ORDER AND SANCTIONS FILED BYTHE STATE OF HAWAII. FLORIDA DID NOT IMPOSE SANCTIONS UPONDAVIDSON. Broker Comment: ADVISOR DID NOT FURNISH STATE OF FL INFORMATIONON CHARGES FILED BY STATE OF HAWAII WITHIN 30 DAYS. ADVISORWAS UNAWARE HE WAS NOT LICENSED IN HAWAII AND MADE SECURITIESSALES BECAUSE ALTHOUGH HIS FORMER EMPLOYER DEDUCTED MONEY FORTHE LICENSE, THEY DID NOT IN FACT OBTAIN DUE TO ADMINISTRATIVEERROR. RESPONDENTS REACHED AGREEMENT WITH STATE OF HAWAII ASTO AMOUNT OF RESTITUTION TO BE PAID TO HAWAII FOR REFUND OFMONIES PAID BY INVESTORS. MONEY WAS PLACE IN RESPONDENT`SATTORNEYS TRUST FUND AND WAS PAID OUT TO SAME.
Date: January 01, 1989 Category: Regulatory Initiated By: HAWAII SECURITIES ENFORCEMENT UNIT Allegations: OFFER AND SALE OF SECURITIES BY ANUNREGISTERED SALESPERSON Resolution: Decision SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: CEASE AND DESIST ORDER ISSUED. ORDER IS NOWFINAL. Broker Comment: I WAS MISTAKENLY TOLD BE MY EMPLOYER, PROFILEINVESTMENTS, THAT I WAS REGISTERED IN THE STATE OF HAWAII. IDID NOT INTENTIONALLY VIOLATE ANY RULES. DETAILED EXPLANATION OF THE EVENTS ARE ATTACHED, ALONG WITHAPPLICABLE DOCUMENTS.
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